Leo C. Saenger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leo Christopher Saenger JR was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1973. Leo had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2015 - December 31, 2016
L.M. KOHN & COMPANY
December 23, 2015 - December 31, 2016
L.M. KOHN & COMPANY
September 30, 2004 - December 31, 2015
AMERITAS INVESTMENT COMPANY, LLC
October 31, 2003 - December 31, 2015
AMERITAS INVESTMENT COMPANY, LLC
February 26, 2002 - September 30, 2004
THE ADVISORS GROUP, INC.
February 2, 2001 - October 31, 2003
THE ADVISORS GROUP, INC.
September 8, 1997 - March 13, 2001
BIRCHTREE FINANCIAL SERVICES LLC
January 2, 1996 - September 10, 1997
OSAIC FS, INC.
February 16, 1994 - December 31, 1995
OSAIC FS, INC.
December 8, 1989 - February 23, 1994
J.A. GLYNN INVESTMENTS, LLC.
February 18, 1987 - October 10, 1989
KMS FINANCIAL SERVICES, INC.
May 8, 1974 - February 17, 1987
FIRST COLUMBIA CORPORATION
November 1, 1973 - December 8, 1974
MISSISSIPPI VALLEY INVESTMENT CO
Primary Firm SEC Registration
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/27/1973
Registered Representative ExaminationCurrent Firm
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
